SUBJECT: PAGE 1 OF 5 . Personnel Files

NUMBER: 33-ERD-01 RULE/CODE REFERENCE: SUPERSEDES: ORC 149.43 33-ERD-01 dated 11/10/15 RELATED ACA STANDARDS: EFFECTIVE DATE:

4-4067, 4-4068; 2-CO-1C-23; 2-CI-6D-4; September 10, 2018 1-CTA-1C-11; 4-APPFS-3B-05, 3E-13, 3E-14

APPROVED:

I. AUTHORITY

Ohio Revised Code 5120.01 authorizes the Director of the Department of Rehabilitation and Correction,

as the executive head of the department, to direct the total operations and management of the department

by establishing procedures as set forth in this policy.

DRC 1361 (Rev. 12/17)

II. PURPOSE

The purpose of this policy is to require the establishment and maintenance of a permanent record of

employment for each employee of the Ohio Department of Rehabilitation and Correction (DRC).

III. APPLICABILITY

This policy applies to all employees of the Ohio Department of Rehabilitation and Correction (DRC).

IV. DEFINITIONS

Electronic Personnel Action Request - An official document approved by the appointing authority and

the Department of Administrative Services (DAS) that changes an employee’s status and/or record.

Personnel File - A current and accurate record of the employee’s job history. This record shall be

maintained in the respective personnel office and contain all relevant information related to the staff

member in regard to his/her employment.

Private File - Non-public records including, but not limited to, EAP, medical records, FMLA

certifications, OPERS personal history information, examinations to determine fitness for employment,

tax forms, and results from background investigations for an employee.

SUBJECT: Personnel Files PAGE 2 OF 5 .

DRC 1362

V. POLICY

It is the policy of the Ohio Department of Rehabilitation and Correction (DRC) that an employee’s

official personnel file shall contain all matters required by Ohio Revised Code and shall be maintained

within the Human Resource Division of the Department of Administrative Services (DAS) and that the

respective DRC personnel director shall maintain accurate and current personnel records on each

employee. The personnel director shall permit an employee to challenge information contained in his/her

personnel file and have it corrected or removed if proven inaccurate.

VI. PROCEDURES

A. Type and Content of Files

1. Personnel File

The respective personnel director shall establish a permanent personnel file for each

employee. This file shall contain the following information:

a. Employment History;

b. Active discipline excluding items related to employee investigations (i.e., witness

statements, incident reports, interviews, etc.);

c. Work Performance History;

d. Employment Documents;

e. Emergency Notification Form;

All new employees and current employees transferring to a different institution,

to/from Operation Support Center (OSC), or to/from Division of Parole and

Community Services (DPCS) are required to submit an Emergency Notification form

(DRC1758) to their respective Personnel Office and to update the form as needed.

The form must be placed in the employee’s Personnel File in such a manner that it is

easily accessible. This form shall not be released pursuant to a public records request.

2. Private File

The respective personnel director shall establish a separate Private File for each employee

as defined in this policy which shall include, but not be limited to, the following

confidential information:

a. Certain Medical Records and Information;

b. Fitness Examinations (i.e., Independent Medical Examinations);

c. Background Investigations (i.e., finger print cards);

d. Court Documents;

e. Benefit information (i.e., health, dental and life insurance forms);

f. OPERS information; and

g. Tax information.

SUBJECT: Personnel Files PAGE 3 OF 5 .

DRC 1362

B. File Security and Non-Public Records

All records shall be secured at the respective Personnel Office. Personnel Files and Private Files

shall be maintained in separate filing cabinets with a confidentiality notice placed on the front of

each file cabinet drawer (see Appendix A). Hard copy documents shall be adequately secured by

locking devices or located in a secure room to prevent unauthorized access at all times when not

in use. Key access shall be limited to authorized personnel staff. If Personnel and/or Private Files

are accessed by non-personnel staff during non-business hours, an Incident Report (DRC1000)

must be completed in detail as to who accessed the files and the reason the files were accessed.

Electronic documents shall only be accessible to those authorized who have completed a System

Access Request form (DRC3424) and it has been approved. The Personnel Files for OSC and

DPCS employees shall be maintained by the Bureau of Personnel in the OSC. An employee’s

Private File may not be released without the written consent of the employee or as compelled by

a court order. For guidance in determining how to respond to a public records request for non-

public personnel records or information, refer to Appendix B.

C. Review of Files

Employees are encouraged to review the contents of their Personnel File periodically to ensure

information contained therein is accurate and complete.

1. Review - The following guidelines shall be followed for access to employee Personnel

Files:

a. An employee may request to see their Personnel File by contacting the personnel

director. For hard copy files, a reasonable time will be established as quickly as

possible for the viewing which shall be mutually agreed upon by the employee, their

immediate supervisor (if practicable), and the personnel director. For electronic files,

a copy of the file shall be sent via email. An employee must make a public records

request to view another employee’s file.

b. For hard copy files, the employee must review his/her Personnel File at the respective

Personnel Office. For DPCS or OSC off-site employees, electronic files shall be sent

via e-mail. The employee shall not be required to use any form of leave to review

their file, although mileage shall not be reimbursed.

c. For hard copy files, the Personnel File must be viewed in the presence of a Personnel

Office staff member. An employee may designate a representative to be present at the

time of the viewing or to view the file on behalf of the employee. The request for an

employee representative to view the file on their behalf must be made in writing in

advance. The Personnel File Log (Appendix C) shall be signed by an authorized staff

member or employee when they request to view a file. A separate log may be kept for

employees who review their files. All authorized employees requesting to review a

Personnel File must sign the Personnel File Policy Acknowledgement Receipt

(Appendix D).

SUBJECT: Personnel Files PAGE 4 OF 5 .

DRC 1362

d. Reasonable requests to copy documents in an employee’s own Personnel File or to

print copies from an electronic file shall be honored at no charge. If a requestor asks

for more than twenty (20) copies, or wishes to print more than twenty (20) copies

from an electronic file, there shall be a charge of five cents ($0.05) per page or ten

cents ($0.10) for two-sided copies. Refer to DRC Policy 07-ORD-02, Records

Access and Release, for additional information on charging.

e. Employee Personnel Files contain non-public material and information must be

handled in an appropriate manner by those authorized persons. Articles shall not be

removed from the Personnel File except as authorized by the appointing authority, the

bargaining unit contracts, the Ohio Revised Code and/or the Ohio Administrative

Code.

2. Challenges - If an employee chooses to challenge information, the procedures are as

follows:

a. The employee must submit a written statement to the personnel director describing

the information being challenged and the reason why the information is believed to be

incorrect. If applicable, the employee shall provide appropriate documentation to

support his/her challenge.

b. The personnel director shall review the statement and any supportive materials

provided and if they are unable to resolve the matter forward to the appointing

authority for a final determination.

c. The employee shall receive written notification of the appointing authority’s decision.

D. Transfer of Files

1. When an employee transfers to another DRC location, the Personnel File, along with the

Private File, must be sent to the new location after the employee physically moves. The

personnel director must ensure the personnel and private files are sent in a secure manner

to avoid the files being lost or stolen (i.e., certified mail, express mail or hand delivered

to the receiving personnel office in a sealed envelope marked confidential). Files sent

through inter-office mail shall be properly labeled, packaged, sealed and marked

confidential with the releasing institution sending an acknowledgement of receipt to the

receiving institution for the personnel office to sign and return to them via interoffice

mail or fax. Electronic Personnel Files shall be sent via e-mail to another DRC location.

The receiving location shall print and create a hard copy file until such time of electronic

conversion. A hard copy of the employee’s Private File shall be sent separately.

2. The Personnel Office shall notify the training officer when an employee is transferring to

another DRC location. The training officer is responsible for forwarding the training file

to the new location.

SUBJECT: Personnel Files PAGE 5 OF 5 .

DRC 1362

3. When an employee transfers to another state agency within Ohio, a copy of the Personnel

and Private Files shall be forwarded to the new agency upon request by the employee or

new agency and then placed in the inactive files.

Attachments:

Appendix A Confidentiality Notice

Appendix B List of Non-Public Personnel Records

Appendix C Personnel File Log

Appendix D Acknowledgement of Receipt

Related Department Forms:

Emergency Notification Form DRC1758

System Access Form DRC3424

Appendix A

CONFIDENTIALITY NOTICE

Personnel and Private Files

No person shall knowingly access, use or disclose confidential personal information in a manner

prohibited by policy or law.

Per DRC Policy 33-ERD-01, Personnel Files, hard copy Personnel Files shall be adequately

secured by locking devices to prevent unauthorized access at all times when not in use. Failure to

comply may result in discipline up to and including removal.

Appendix B

List of Non-Public Personnel Records

According to the Ohio Public Records Act [Ohio Revised Code (RC) 149.43] records in the care

and custody of a public office are readily available for inspection and or copying. The below list

of information and records in the personnel file are not public records pursuant to Ohio’s Public

Record Act because a statute exempts the information and or record from disclosure to the public.

When a record or part of a record is not disclosed to the public or redacted and so disclosed then

an explanation and legal authority for such action must be given, typically, in writing. Accordingly,

the personnel staff shall notify, in writing, the requestor of records of the below, appropriately

cited statute when not disclosing the non-public record or when disclosing a public record, but

with non-public information redacted.

1. Pursuant to RC 149.43 (A) (7), residential and familial information is any of the following

information about a parole officer, probation officer, correctional employee who while

performing job duties has or has had contact with inmates or persons under supervision of

the Adult Parole Authority:

A. The street address of the actual personal residence (the state and political

subdivision are a public record); Exception - journalist engaged in, connected with,

or employed by any news medium, may obtain the residential street address, as well

as the name and address of spouse, former spouse, or children, if employed by a

public office by submitting a written request, with journalist's name and title,

employer's name and address, and a statement that release of the information is in

the public interest.

B. Information compiled from referral to or participation in an employee assistance

program [RC 124.88(B)];

C. Including that employee’s spouse, former spouse, or child; numbers for the

following:

1) Social Security;

2) Bank Account (i.e., checking, savings, direct deposit);

3) Debit, charge, or credit cards; and

4) Residential, cell, and emergency phones.

D. Name or residential street address and name and full address of employer, for only

the spouse, former spouse, or child;

E. Identity and amount of any charitable (i.e., combined charitable contribution) or

employment benefit deduction (i.e. medical, dental, vision, life, and disability

insurance, union dues, and leave donation) unless the amount of the deduction is

required by state or federal law;

F. Name of beneficiary of employment benefits (i.e., medical, dental, vision, life, and

disability insurance, union dues, and leave donation);

G. Medical information (i.e. medical, dental, vision, life, and disability insurances,

Medicare, worker’s compensation, COBRA, and leave for occupational injury,

disability, child birth/adoption and FMLA) unless employee consents to release, in

writing. Biddle v Warren Gen. Hosp. 86 Ohio St.3d. 395 also exempts the

information and or record from disclosure to the public.

2. Medical records are any document that is generated and maintained in the process of

medical treatment pertaining to a patient’s medical history, diagnosis, prognosis, or

medical condition (i.e., medical dental, vision, life, and disability insurances, Medicare,

workers’ compensation, COBRA, and leave for occupational injury, disability, child

birth/adoption and FMLA) unless employee consents to release, in writing. RC 149.43 (A)

(1) (a), (A) (3) and Biddle v Warren Gen. Hosp. 86 Ohio St.3d. 395.

3. Recovery services files and information that would identify an employee receiving alcohol

and/or drug treatment. RC 5119.27 Records and reports identifying a person and pertaining

to the person’s mental health condition, assessment, care or treatment about services

certified by the department of mental health and addiction services, unless disclosed by a

permitted party. RC 5119.28. Health and medical records of a person treated for alcoholism

or drug addiction. RC 5119.26.

4. Physical fitness, psychiatric and psychological examinations to determine fitness for hiring

or continued employment. RC 149.43 (A) (1) 9v); 42 U.S.C. §12112.29; 29 C.F.R. 1630.14

(b) (1), (c) (1) [Americans with Disability Act and its implementing regulations (ADA)];

RC 1347.15 (A) (1) [“confidential personal information” under Ohio’s Personal

Information Systems Act]; and Biddle v Warren Gen. Hosp. 86 Ohio St.3d. 395.

Information gathered by employer who conducts voluntary medical examination of

employee as part of an employee health program. 29 C.F.R. 1630.14 (d) (1).

5. Federal income tax returns and “return information” (e.g., social security numbers) filed

with the IRS. RC 149.43 (A) (1) (v); 26 U.S.C. §6103.

6. State and municipal income tax returns and any information gained as the result of returns,

investigations, hearings, or verifications required or authorized by RC Chapter 5747. RC

5703.21 and 5747.18 (state) and 718.13 (municipal).

7. OPERS personal history information. RC 145.27 (A), 742.41(B), 149.43 (A) (1) (v),

3307.20 (B) (2), 3309.22 and 5505.04(C).

8. Records of open internal EEO investigations [discretionarily exempt as Confidential Law

Enforcement Investigatory Records under RC section 149.43 (A) (1) (h) if conducted

pursuant to OAC rule 123:1-49].

9. Disciplinary investigation records if the Confidential Law Enforcement Investigatory

Record (CLEIR) applies under RC section 149.43 (A) (1). Under CLEIRs, the DRC may

withhold any records that both: 1) Pertain to a law enforcement matter of a criminal, quasi-

criminal, civil, or administrative nature, and, 2) If released, would create a high probability

of disclosing any of the following four types of information: (a) identity of a suspect who

has not been charged with the offense to which the record pertains; (b) information

provided by an information source or witness to whom confidentiality was reasonably

promised, which information would reasonably tend to disclose the source's or witness's

identity; (c) specific confidential investigatory techniques or procedures or specific

investigatory work product; or (d) information that would endanger the life or physical

safety of law enforcement personnel, a crime victim, a witness, or a confidential

information source. CLEIR does not apply to administrative investigations conducted for

purposes of public office employment matters (e.g., internal disciplinary investigations,

pre-employment questionnaires and polygraph tests, or to public records that later become

the subject of a law enforcement investigation) unless the employee is also under law

enforcement investigation. Note - consult with legal counsel before using the CLEIR

exemption to withhold employee disciplinary investigation records.

10. Information (i.e. arrest, conviction and guilty plea) and materials (i.e. fingerprints) from

BCI&I. RC 149.43 (A) (1) (v); RC 109.57; 109.5721. Information or data concerning any

arrest, complaint, indictment, information, trial, adjudication, or correctional supervision

contained in sealed records. RC 2953.60.

11. Criminal history “rap sheets” (background checks) from the federal National Crime

Information Center system (NCIC) or from the state Law Enforcement Automated Data

System (LEADS) per 42 U.S.C. §3789. LEADS, NCIC, or CCH criminal record

information per 42 U.S.C. § 3789g; 28 C.F.R. § 20.21, § 20.33(a)(3); RC 109.57(D) and

(E); OAC 109:05-1-01 and 4501:2-10-06. Also, records (e.g., arrest, conviction, guilty

plea and fingerprints including from employee background checks) from the Ohio Bureau

of Criminal Identification and Investigation per RC 109.57 and 109.5721 (E).

12. Certain employment records if an employee can demonstrate a high potential for

victimization or a substantial risk of serious bodily harm or death from its release.

Kallstrom v. City of Columbus, 136 F.3rd 1055 (6th Cir. 1998) (personal information of

police officers).

13. Certain employment records if an employee can demonstrate a high potential for

victimization from its release. State ex rel. Beacon Journal Publ ‘g Co. v. Akron, 70 Ohio

St. 3d 605, 612 (1994) (“high potential for fraud and victimization caused by the unchecked

release of city employee SSNs”).

14. Certain adoption court records. RC 3107.17, .40, .41, .42, .45, and .52. RC 149.43 (A) (1)

(d).

15. Certain court records such as domestic relations (e.g., child support, garnishment) or

garnishment when a court imposed protective order prohibits the release of the record. RC

149.43 (A) (1) (d).

16. Education records (e.g., school transcripts, attendance records, or other individually

identifiable student records) unless employee-student consents per RC 3319.321.

17. Orders for active military service in the US armed forces including reserves or Ohio militia.

RC 149.43 (A) (1) (ff).

18. Military Discharge DD214 per Privacy Act of 1974 limits access to a veteran’s DD214 to

only the service member (either past or present) or the member's legal guardian; only these

persons will have access to almost any information contained in that member's own record.

Others requesting information from military personnel/health records must have the signed

authorization of the service member or legal guardian.

19. Personal/home email addresses per RC 1306.23 and State Ex. Rel. Dispatch Printing Co.

v. Johnson, 106 Ohio St.3d. 160 (2005).

20. Numbers for driver’s license and state (i.e., OAKS, tax) identification. R.C. 149.43(A) (1)

(dd) (referencing R.C. 149.45).

Appendix C PERSONNEL FILE LOG

DATE TIME

IN / OUT

REQUESTOR NAME

(print)

FILE NAME & TYPE

(print)

REASON FOR REVIEW

(print)

HR SIGNATURE

Appendix D

Access Rules for Confidential Personal Information & Personnel File Policy

ACKNOWLEDGEMENT OF RECEIPT

I, ________________________________________, hereby acknowledge that I have read and understand

DRC Policy 33-ERD-01, Personnel Files, and ORC 1347.15, Access Rules for Confidential Personal

Information. I understand that failure to follow this policy and rule could result in discipline.

Printed Name

Signature Date